SEC Form 4 · accession 0000919574-17-000640
DATAWATCH CORP · DWCH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Jan 17, 2017
Accepted (ET)
Jan 19, 2017 · 5:12 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000792130
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F1 | Jan 17, 2017 | P | 5,300 | $5.69 | A | 1,244,188 | I | See Footnote |
| Common StockF3,F1 | Jan 17, 2017 | S | 6,100 | $5.78 | D | 1,238,088 | I | See Footnote |
| Common StockF4,F1 | Jan 17, 2017 | P | 6,500 | $5.75 | A | 1,244,588 | I | See Footnote |
| Common StockF1 | Jan 17, 2017 | S | 2,007 | $5.75 | D | 1,242,581 | I | See Footnote |
| Common StockF5,F1 | Jan 17, 2017 | P | 1,592 | $5.76 | A | 1,244,173 | I | See Footnote |
| Common StockF1 | Jan 17, 2017 | S | 592 | $5.75 | D | 1,243,581 | I | See Footnote |
| Common StockF6,F1 | Jan 18, 2017 | S | 3,300 | $5.64 | D | 1,240,281 | I | See Footnote |
| Common StockF7,F1 | Jan 18, 2017 | P | 12,055 | $5.67 | A | 1,252,336 | I | See Footnote |
| Common StockF8,F1 | Jan 18, 2017 | S | 7,610 | $5.68 | D | 1,244,726 | I | See Footnote |
| Common StockF9,F1 | Jan 18, 2017 | P | 8,900 | $5.75 | A | 1,253,626 | I | See Footnote |
| Common StockF1 | Jan 18, 2017 | S | 2,500 | $5.75 | D | 1,251,126 | I | See Footnote |
| Common StockF10,F1 | Jan 18, 2017 | P | 6,000 | $5.76 | A | 1,257,126 | I | See Footnote |
| Common StockF1 | Jan 18, 2017 | S | 3,100 | $5.75 | D | 1,254,026 | I | See Footnote |
| Common StockF11,F1 | Jan 18, 2017 | P | 5,000 | $5.79 | A | 1,259,026 | I | See Footnote |
| Common StockF12,F1 | Jan 18, 2017 | S | 15,500 | $5.70 | D | 1,243,526 | I | See Footnote |
| Common StockF13,F1 | Jan 18, 2017 | P | 16,060 | $5.70 | A | 1,259,586 | I | See Footnote |
| Common StockF1 | Jan 18, 2017 | S | 1,200 | $5.75 | D | 1,258,386 | I | See Footnote |
| Common StockF1 | Jan 18, 2017 | P | 1,026 | $5.70 | A | 1,259,412 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These securities are held in the accounts of private investment funds managed by G2 Investment Partners Management LLC ("G2 Investment Partners Management") and may be deemed to be beneficially owned by (i) G2 Investment Partners Management, (ii) G2 Investment Partners GP LLC, and (iii) Josh Goldberg, the managing member of G2 Investment Partners Management and G2 Investment Partners GP LLC (collectively, the "Reporting Persons"). The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.
- F10The reported price is the weighted average purchase price for purchases on January 18, 2017 by the Reporting Persons. The actual prices of such purchases ranged from $5.75 to $5.85. The Reporting Persons undertake to provide, upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.
- F11The reported price is the weighted average purchase price for purchases on January 18, 2017 by the Reporting Persons. The actual prices of such purchases ranged from $5.75 to $5.80. The Reporting Persons undertake to provide, upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.
- F12The reported price is the weighted average sale price for sales on January 18, 2017 by the Reporting Persons. The actual prices of such sales ranged from $5.60 to $5.75. The Reporting Persons undertake to provide, upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F13The reported price is the weighted average purchase price for purchases on January 18, 2017 by the Reporting Persons. The actual prices of such purchases ranged from $5.65 to $5.80. The Reporting Persons undertake to provide, upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.
- F2The reported price is the weighted average purchase price for purchases on January 17, 2017 by the Reporting Persons. The actual prices of such purchases ranged from $5.63 to $5.70. The Reporting Persons undertake to provide, upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.
- F3The reported price is the weighted average sale price for sales on January 17, 2017 by the Reporting Persons. The actual prices of such sales ranged from $5.75 to $5.85. The Reporting Persons undertake to provide, upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F4The reported price is the weighted average purchase price for purchases on January 17, 2017 by the Reporting Persons. The actual prices of such purchases ranged from $5.65 to $5.85. The Reporting Persons undertake to provide, upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.
- F5The reported price is the weighted average purchase price for purchases on January 17, 2017 by the Reporting Persons. The actual prices of such purchases ranged from $5.73 to $5.80. The Reporting Persons undertake to provide, upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.
- F6The reported price is the weighted average sale price for sales on January 18, 2017 by the Reporting Persons. The actual prices of such sales ranged from $5.60 to $5.65. The Reporting Persons undertake to provide, upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F7The reported price is the weighted average purchase price for purchases on January 18, 2017 by the Reporting Persons. The actual prices of such purchases ranged from $5.65 to $5.80. The Reporting Persons undertake to provide, upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.
- F8The reported price is the weighted average sale price for sales on January 18, 2017 by the Reporting Persons. The actual prices of such sales ranged from $5.65 to $5.75. The Reporting Persons undertake to provide, upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F9The reported price is the weighted average purchase price for purchases on January 18, 2017 by the Reporting Persons. The actual prices of such purchases ranged from $5.65 to $5.85. The Reporting Persons undertake to provide, upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.